Full-Time Senior Compliance Consultant
Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), a compliance consultation firm specializing in compliance services for the investment adviser and financial industry, is seeking a Sr. Compliance Consultant to support our growing business. Our clients include investment managers, broker-dealers, advisers to private funds, investment companies, and other financial institutions. We are seeking a Sr. Compliance Consultant who has a passion for learning and growing in this dynamic industry in a fast-paced environment with upward opportunities. The ideal candidate will thrive working both collaboratively and independently, is extremely detailed, customer-centric, and hardworking.
- Methodical and organized?
- Systematic in your approach when managing multiple projects at once?
- Easy going, respectful, and a team player?
- A relationship builder that understands the importance of client servicing?
- A proactive communicator that sets expectations?
The Sr. Compliance Consultant will be a key team player responsible for servicing our expanding compliance consultation clients. The Sr. Compliance Consultant should have at least ten (10) years of regulatory compliance experience within the financial industry; previous supervisory experience and/or regulatory experience (at the SEC, state, or FINRA) is a huge plus. This qualified candidate will be responsible for assisting with:
- Registration Filings, including Forms ADV, Form U4, 13F and other filings
- Authoring of client disclosure documents
- Policy and procedure development and maintenance
- Advertising and marketing reviews
- Annual Reviews, Risk Assessments, and Mock Regulatory Exams
- Preparation of clients for upcoming regulatory examinations
- Managing, mentoring, oversight, and training of the Consultant Team
- Addressing client inquiries and being an extension of their internal compliance team
- Performance of annual Anti-Money Laundering and Business Continuity Plan audits
- Additional tasks and projects, as assigned
- Bachelor’s Degree or higher
- 10+ years of compliance experience at a financial services firm
- Excellent verbal and written communication skills
- Experience with CRMs and compliance technology solution platforms
- Passion for compliance and research persistent
- A thirst for knowledge and desire to learn
- Eagerness to troubleshoot and follow-up
- Preference for project work and gets great satisfaction in completing and ticking off a “to-do” list
- Strong attention to detail with a pro-active approach to problem-solving
- Ability to build rapport and interface with sophisticated firm clients
- Strong knowledge of Microsoft Office 365 programs
- Ability to travel 10% of the time (post-COVID)
Core Compliance is certified as a National Women Business Owners Corporation (“NWBOC”) which specializes in compliance and risk management for the financial industry. Core Compliance services clients throughout California and nationwide. Growing at a rapid pace, Core Compliance has achieved an impressive track record of success in the San Diego, Los Angeles, and San Francisco markets as well as nationally. The consultants and professional team at Core Compliance are industry thought-leaders, leveraging their collective knowledge and capabilities to help achieve each client’s objectives and goals. What sets us apart from other firms: 1% of firm revenues is donated to charity.
What You’ll Get:
- A highly competitive salary, DOE
- Excellent benefits package and annual bonus opportunity
- Telecommuting 1-2 days per week (post-COVID)
- Position advancement opportunities and continuing education support